Susan N. Thomas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Susan Nesbitt Thomas was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2010. Susan had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2018 - December 31, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 8, 2017 - December 31, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 1, 2016 - December 20, 2017
OSAIC FS, INC.
October 31, 2016 - December 20, 2017
OSAIC FS, INC.
September 13, 2016 - November 2, 2016
TRUIST ADVISORY SERVICES, INC.
July 27, 2010 - November 2, 2016
TRUIST INVESTMENT SERVICES, INC.
February 23, 2010 - November 2, 2016
TRUIST INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
